Award NASD Dispute Resolution In the Matter of the Arbitration Between: William V. Grizinski, (Claimant) vs. American Express Financial Advisors, Inc. and Michael Bryan, (Respondents) Case Number: 01-00838 Hearing Site: Cincinnati, Ohio REPRESENTATION OF PARTIES Claimant, William V. Grizinski, hereinafter referred to as "Claimant": Michael C. Eckert, Esq., Eckert & Eckert Co., L.P.A., Springboro, OH. Respondents, American Express Financial Advisors,

+ : the Matt~r :i the Arb; ;r_acha" Ca vi d Har r ina t c: .ion Between espondent CASE #91-03783 AWARD CASH SUMMARY - V^ - ' «n a ciaim iiied with tn Dealers, Inc. .:n December Harrington, who appeared rro Baker Watts, Inc. misled National Association of Securities 2, 1991, Claimant Jonathan David Se, alleged that Respondent Ferris, him into purchasing Perpetual Financial orp., for his retirement account, whic

b N.A.S.D. AWARD )? SECURITIES DEALERS, , ZHSA^LSL' he Matter cf the Arbitration Between -'. r]£Q p Name cf Claimant J ''. Charles L. Stephens ?!TpAT lTi N and yi- Name of Respondent Shearson Lehman Brothers , *£nc . PRPRESENTATION OP PARTIES Claimant was represented by Robert S. Travis, Esq. of Cantey Hanger, Fort Worth, Texas. Respondent Shearson Lehman Brothers, Inc. was "presented g Flynn, Esq. and Rudolf c Ro

N.A.S.D. AWARD NATICNAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between. NansofClAiinant orrayne R NASD Arbitration No.91-03774 Name ofReancmriPTits fisrrxiniyncir^ISrce Fenner & Sndth, IDC. Will tarn R. Erickson For Claimant: In Pro Se For Respondent: Mark G. Interieri, Esq. - Bergman & Wedner, Inc. Statanent of Halm filed: December 2, 1991 Claimant's Submission Agreement signed CDS Nuvcui^or 22 9

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, CASE #91-03771 AWARD In the Matter of the Arbitration Between I. Jack Gural Claimant vs. D.H. Blair & Co., Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 2, 1991, Claimant I. Jack Gural who appeared Pro Se, alleged that Respondent D.H. Blair & Co. , Inc. failed to follow his instructions to sell his Trillin

NASD Arbitration No. 91-03767 N.A.S.D. AWARD NATIONAL A^nrffrTION OF SECURITIES DF.AT.F.RS. TNG. In the matter of the Arbitration Between Name of Claimants Steven P. Shearing Name of Respondents Dean Witter Reynolds, Inc. Victor C. Egner REPRESENTATION For Claimant: Harry L. Carman, Esq. - Carman & Amdur - Rutherford, New Jersey For Respondents, Dean Witter Reynolds, Inc. - Mark Appleton, Esq. and Charles Brega, Esq. - Brega & Winter

onaru NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-03765 AWARD In the Matter of the Arbitration Between Larry and Bonnie R. Yanick, JTWROS Claimants vs. George Casazza Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 2, 1991, Claimants, Larry and Bonnie R. Yanick, who appeared Pro Se, alleged that in January, 1991 when they contacted Global America, Inc. t

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Larry and Bonnie R. Yanick Claimants CASE #91-03763 AWARD vs . Reginald Scantlebury Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 2, 1991, Claimants Larry and Bonnie R. Yanick who appeared Pro Se, alleged that during October and November 1990, they spoke with Respond

N.A.S.D. AWARD NATICNAL ASSOCIATION" OF SECURITIES DEALERS la the Matter of the Arbitration Between Charles & Judith McGregor vs. NASD #91-03762 PaineWefcber, Inc, Doredda McKinney For < "*ia-iTfBiTi+-g* Charles D. McGregor FOOT Respondents: Scott M. Ratchicfc, Esq., PaineWebber, Inc., Angeles, California CftSB Statenoit of Claim filed: Deceoter 2, 1391 Claimants 1 ****** TO* *ri Agreement signed: Decenber 13, 1991 Joint State

• N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Name of Claimants Barbara Johnson Kurc Johnson No. 91-03758 Name of Respondents Shearson Lehman Brothers, Inc. Nick Bocella Mark Greenway REPRESENTATION OF PARTIES For Claimants: John Miller, Esq., of Nygaard & Associates, Overland Park, Kansas. For Respondents Shearson Lehman Brothers, Inc. and Nick Bocceila: John Shaw, Esq., of Bryan Cave, Kansas City, Missouri. Re